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James Park — Sonic AI
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James Park
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James Park believes the Supreme Court may be hesitant to significantly limit the SEC's disgorgement powers out of concern that Congress could pass a new statute to overrule the Court's decision.
Expert perspective
James Park
Apr 23
The U.S. Securities and Exchange Commission was granted the general power to impose civil penalties in 1990.
Expert perspective
James Park
Apr 23
The Supreme Court ruled in the 2024 SEC v. Jarkesy case that defendants have a constitutional right to a jury trial in federal court when the SEC seeks civil penalties for fraud.
Expert perspective
James Park
Apr 23
The U.S. Court of Appeals for the Ninth Circuit ruled that the SEC can obtain disgorgement without showing pecuniary injury to a victim, creating a circuit split with the Second Circuit.
Expert perspective
James Park
Apr 23
Courts first granted the U.S. Securities and Exchange Commission the power of disgorgement starting in the 1970s.
Expert perspective
James Park
Apr 23
The U.S. Securities and Exchange Commission alleges that defendant Charles Sripach manipulated the price of penny stocks through promotional activities on his website and wash trades.
Expert perspective
James Park
Apr 23
In 2021, after the Liu v. SEC decision, Congress passed a statute explicitly permitting the SEC to seek disgorgement without adding conditions such as proving victim harm.
Expert perspective
James Park
Apr 23
In some enforcement cases, the U.S. Securities and Exchange Commission is unable to identify victims or return disgorged funds, resulting in the money being sent to the U.S. Treasury.
Expert perspective
James Park
Apr 23
The Supreme Court ruled in the Kokesh v. SEC decision that SEC disgorgement cases are subject to the statute of limitations for penalties.
Expert perspective
James Park
Apr 23
The U.S. Court of Appeals for the Second Circuit, in the case SEC v. Goebbels, ruled that the SEC must demonstrate pecuniary injury to victims to obtain disgorgement.
Expert perspective
James Park
Apr 23
Andrew Left took a short position in GameStop and was subsequently squeezed by retail investors who organized on Reddit.
Expert perspective
James Park
May 15
Prosecutors allege that Andrew Left profited by approximately $20 million through market manipulation.
Expert perspective
James Park
May 15
Andrew Left, through his platform Citron Research, is known for correctly identifying problems at Valiant Pharmaceuticals.
Expert perspective
James Park
May 15
James Park believes the trial of Andrew Left is more broadly about the use of social media to influence markets rather than being a reckoning specifically for the short-selling industry.
Expert perspective
James Park
May 15
James Park believes the current U.S. administration is more skeptical about enforcing the Foreign Corrupt Practices Act than the previous administration.
Expert perspective
James Park
May 15
The U.S. case against Gautam Adani's company alleges it paid bribes in India related to building clean energy projects, a violation of the Foreign Corrupt Practices Act.
Expert perspective
James Park
May 15
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